The SEC and the New York Attorney General announced settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC centered on the operation of dark pool trading venues. In the Matter of Barclays Capital Inc., Adm. Proc. File No. …

SEC, NYAG Sanction Three Dark Pools Read More »

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New York Attorney General Eric T. Schneiderman may be leading the way again. In the past the office has lead ground breaking investigations using New York’s Martin Act that presaged significant SEC investigations and actions. Now the NY AG has …

A New Trend? NY AG Settles First Climate Change Disclosure Case Read More »

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